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Stockbroker Discharged

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Kevin Klickna – Former Equitable Advisors Broker-Discloses Regulatory Suspension- Rochester, IL
Kevin Klickna – Former Equitable Advisors Broker-Discloses Regulatory Suspension- Rochester, IL 150 150 ER

Kevin Klickna Investigation June 2023-Rochester, IL  According to publicly available records Kevin Klickna a currently unregistered broker most recently employed with Equitable Advisors discloses a final regulatory matter and a termination…

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Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC
Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC 150 150 ER

Shawn Good Investigation June  2023-Wilmington, NC According to publicly available records Shawn Good a former broker who last worked for Morgan Stanley discloses a final regulatory matter resulting in a permanent…

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Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA
Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA 150 150 ER

Adrian R. London Investigation June 2023-Atlanta GA According to publicly available records Adrian R. London a former broker who last worked for J.P. Morgan Securities,  discloses a final regulatory matter resulting…

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Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses 2 Customer Disputes and a Termination fro mEmployment- Bangor, ME
Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses 2 Customer Disputes and a Termination fro mEmployment- Bangor, ME 150 150 ER

Robert “Bob” Thomas Investigation May 2023-Bangor, ME According to publicly available records Robert A. Thomas a currently unregistered  broker who formerly worked for Avantax Investment Services,   discloses a 2 customer…

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Sean Storm Boswick-Former Brock Securities Broker-Barred From Securities Industry – New York, NY
Sean Storm Boswick-Former Brock Securities Broker-Barred From Securities Industry – New York, NY 150 150 ER

Sean Storm Boswick Investigation   June  2023-New York, NY The FINRA records of Sean “Storm” Boswick,  a former stock broker who was last employed in the industry by Brock Securities , disclose…

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Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL
Clinton Byrd-Former Cantella Broker-Discloses Regulatory Suspension, $450K Settlement With Customer- Tallahassee, FL 150 150 ER

Clinton Byrd Investigation June  2023-Tallahassee, FL According to publicly available records Clinton Byrd, a broker previous employed by  Cantella & Co., discloses a regulatory suspension, settlement of a  customer dispute and…

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Vincent “Vinny” Grucci-Former Fortune Financial Services Broker-Discloses FINRA Investigation and Final Customer Dispute- Ocean Ridge, FL
Vincent “Vinny” Grucci-Former Fortune Financial Services Broker-Discloses FINRA Investigation and Final Customer Dispute- Ocean Ridge, FL 150 150 ER

Vincent “Vinny” Grucci Investigation June 2023-Ocean Ridge, FL The FINRA records of  Vinny Grucci,  a  former stock broker who was last employed by Fortune Financial Services, Inc. disclose a pending FINRA…

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Alexandra Smith-Former J.P. Morgan Broker-Barred From Securities Industry by Regulator -St. Petersburg, FL
Alexandra Smith-Former J.P. Morgan Broker-Barred From Securities Industry by Regulator -St. Petersburg, FL 150 150 ER

Alexandra Smith Investigation June 2023-St. Petersburg, FL The FINRA records of Alexandra Smith  ,  a former stock broker who was last employed in the industry by J.P. Morgan Securities , disclose 2…

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James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC
James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC 150 150 Rex Securities Law

James Travis Flynn Investigation May 2023-Greer , SC/ Greenville, SC Over the past 4 years we have  successfully obtained significant damages for several dozen former customers of  James Travis Flynn,…

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